Information Collection List

IC Title Status Responses Hours Dollars Document Type Form No. Form Name
Security-based swap activities: Paragraphs (a)(1), (a)(3), (a)(5), (a)(6), (a)(7), (a)(8), (a)(9), (a)(26), and (a)(27) Unchanged 20 1337 0
Broker-dealer SBSDs and broker-dealer MSBSPs: Paragraphs (a)(25), (a)(28), and (a)(30) Unchanged 7 665 0
Broker-dealer SBSDs only: Paragraph (a)(29) Unchanged 6 190 0
17a-3(a)(35) Record of Oral Disclosure Unchanged 92041128 1840823 0
Ongoing cost for equipment & systems development Unchanged 49 0 72322796
Rule 17a-3(24), Record of Date Form CRS Provided to Each Customer and Prospective Customer Unchanged 2593 1297 0
Rule 17a-3(35) Record of Identity of Associate Person Responsible For Account- Large Broker-Dealers Unchanged 1455 970 0
Rule 17a-3(35) Record of Identity of Associate Person Responsible for Account/Firm Burden- Small Broker-Dealers Unchanged 1138 0 565586
Rule 17a-3(35) Record of Identity of Associate Person Responsible for Account/Individual Burden Unchanged 177000773 2360004 0
Rule 17a-3(a)(12, 19) Unchanged 3528 1764 0
Rule 17a-3(a)(16) Unchanged 200 5400 0
Rule 17a-3(a)(17) - providing updated information to customers Unchanged 78271425 0 32091284
Rule 17a-3(a)(17)(i)(B(1) - Small BD Unchanged 579775 67642 0
Rule 17a-3(a)(17)(i)(B(2) + (3) - Small BD Unchanged 202926 33821 0
Rule 17a-3(a)(17)(i)(B)(1) - Large BD Unchanged 57399041 1434976 0
Rule 17a-3(a)(17)(i)(B)(2) + (3) - Large BD Unchanged 20089666 1674139 0
Rule 17a-3(a)(20-22) Unchanged 3528 588 0
Rule 17a-3(a)(23) Part I Unchanged 512 17067 341333
Rule 17a-3(a)(23) Part II Unchanged 512 23040 0
Rule 17a-3(a)(36) New 2575 47380 0
Rule 17a-3; Records to be Made by Certain Exchange Members, Brokers and Dealers Unchanged 3528 878472 0
Total burden requested under this ICR: 425604385 8389575 105320999  
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